The Impact of Anti-Money Laundering, Know Your Customer and SAR Rules

January 12-13th, 2017

Each year, the National Institute draws elite officials from both the U.S. Department of Justice and the U.S. Securities and Exchange Commission for an exclusive educational and professional forum to examine current legal and ethical issues relating to securities fraud.

Attorney Brent R. Baker will be moderating the panel "The Impact of Anti-Money Laundering, Know Your Customer and SAR Rules" at the 11th Annual National Institute on Securities Fraud, on January 12th at 9:00 am. 

The panel will address Broker-dealers, Investment Advisors, transfer agents and other registered entities who are constantly grappling with AML procedures, KYC rules and knowing when to and when not to file Suspicious Activity Reports. FINRA, the SEC and DOJ are all watching closely, and the ramifications for non-compliance are severe, including multi-million dollar sanctions, time away from the industry and potentially jail. Experts from both sides will elucidate what gets the regulators attention and what clients can do to avoid the spotlight. 

Further information and registration can be found here

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